Kwok Chee Chong
莊國幟
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Chee Chong (莊國幟), a licensed Responsible Officer with CE reference BAN207. Currently licensed at 2 firm(s): Principal Investment & Retirement Services Limited, Principal Asset Management Company (Asia) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
RO | Type 1 — Dealing in securities | 2025-10-16 | present |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
RO | Type 4 — Advising on securities | 2025-10-16 | present |
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2024-10-31 | present |
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2022-12-01 | present |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
Rep | Type 1 — Dealing in securities | 2021-07-02 | 2025-10-16 |
| Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-07-02 | 2022-12-31 |
| Franklin Templeton Investments (Asia) Limited 富蘭克林鄧普頓投資(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2020-11-04 | 2021-06-18 |
| Franklin Templeton Investments (Asia) Limited 富蘭克林鄧普頓投資(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2020-11-04 | 2021-06-18 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2019-04-08 | 2021-06-18 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2019-04-08 | 2021-06-18 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-08-14 | 2019-03-31 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2015-08-14 | 2019-03-31 |
| Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2015-08-14 | 2019-03-31 |
| CIFM Asset Management (Hong Kong) Limited 上投摩根資產管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-08-14 | 2015-07-31 |
| CIFM Asset Management (Hong Kong) Limited 上投摩根資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-12-27 | 2015-07-31 |
| CIFM Asset Management (Hong Kong) Limited 上投摩根資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2012-12-27 | 2015-07-31 |